. In the case where it is appropriate or necessary, the SEC Office upon approval of the SEC may revise or modify the operating plan; in such regard, the provision in the first paragraph shall be
certification of the name list of the current or temporary board of directors of the existing association issued by the Registrar of Trade Associations; (6) the audited balance sheet for the latest financial year
been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.
to inform you that I have been resigned from ………………………….…(last audit firm’s name) since………………………. and transferred to work with……………………………(current audit firm’s name) since………………………… Yours Sincerely
equal to the amount of the license fee already paid by the applicant for the said derivatives business license. Chapter 3 Return of Existing Derivatives Business License Clause 18 An applicant for
institution, the securities company may comply with the policy of security of the information technology of such financial institution. [M] · Reviewing and modify updatable by having a risk assessment once a
by the applicant for the said derivatives business license. Chapter 3 Return of Existing Derivatives Business License _____________ Clause 18 An applicant for derivatives business license for the
modify the rules concerning the preparation of reports on provident fund management and the calculation of investment limits of provident funds in respect of the provident funds with multiple investment
), since ………………(date)………….………, to ……….…(name of the current audit firm), since………..………(date)……….…………. In this regard, I have attached herewith the following supplementary documents: 1. Certification of
procedures appropriate to the size and nature of the firm? 4 Does the firm have access to current guidance materials regarding the applicable independence, integrity, and objectivity requirements? a. If “yes